Individual Firm
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ADAM J WOOD
CRD#: 4751225
IA
B
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
1NC
Purchase, NY 10577
View By:
9/30/2002
Criminal
Final Disposition
State Registrations
B
Arizona 10/8/2021
B
Missouri 10/8/2021
B
California 10/8/2021
B
New Hampshire 10/8/2021
B
Colorado 10/8/2021
B
New Jersey 10/8/2021
B
Connecticut 10/8/2021
B
New York 10/8/2021
B
Delaware 10/8/2021
IA
New York 10/8/2021
B
District of Columbia 10/8/2021
B
North Carolina 10/8/2021
B
Florida 10/8/2021
B
Oregon 10/8/2021
B
Georgia 10/8/2021
B
Pennsylvania 10/8/2021
B
Hawaii 10/8/2021
B
Puerto Rico 10/8/2021
B
Idaho 10/8/2021
B
South Carolina 10/8/2021
B
Illinois 10/8/2021
B
Tennessee 10/8/2021
B
Iowa 10/8/2021
B
Texas 10/8/2021
B
Maryland 10/8/2021
IA
Texas 10/8/2021
B
Massachusetts 10/8/2021
B
Vermont 10/8/2021
B
Michigan 10/8/2021
B
Virginia 10/8/2021
B
Mississippi 11/7/2024
B
Wyoming 10/8/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/8/2021
B
Registered with this firm since 10/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/29/2007 - 10/11/2021 | NEW YORK, NY | |
B | 05/29/2007 - 10/11/2021 | NEW YORK, NY | |
IA | 05/02/2006 - 05/29/2007 | NEW YORK, NY | |
B | 02/09/2004 - 05/29/2007 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.